CISG下利率的确定
摘要
尽管《联合国国际货物销售合同公约》第78条只包含一款,然而在整个公约中它却是最有争议的条款之一。公约第78条仅仅规定了债权人收取利息的一般权利,立法背景资料表明该条是折中和妥协的产物,如何确定利率便成为了公约最大的缺漏之一。司法实践中的首要争议是利率是否属于公约的调整范围,即利率是属于公约的法定缺漏还是法定外缺漏。这是众多学者在研究公约空缺问题时首先要阐明的问题。笔者赞同法定外缺漏的观点,即认为利率属于公约的调整范围,在诚信原则、意思自治原则的指导下,可以适用充分赔偿原则对其进行补充。
尽管从有利于公约统一适用的角度,可以依据充分赔偿原则来确定利率。然而依据该基本原则并不能具体地确定适用哪一个国家的何种利率。司法实践中,在处理利率问题时,通常有如下方法：依据国际私法规则指引的准据法确定利率、适用债权人所在国利率、适用债务人所在国利率、适用支付地之利率、适用法院地利率、适用支付货币所属国之利率、依据一般原则或国际贸易惯例确定利率等等。各国法院及仲裁庭对公约第78条的不同理解累积了丰富的相关资料。通过对各国裁判实践的具体分析,可以看出实践中并没有统一的做法。
公约第6条赋予了当事人充分的意思自治。因此,当事人完全可以在合同中约定具体的条款来表明适用何种具体利率或是协商确定利率的方法。这也是目前避免不确定性的最好方法。
毫无疑问,公约尚存在很多问题,需要结合学术研究成果和司法实践经验予以完善。笔者对公约文本第78条的修订,提出以下建议：利率首先应由当事人根据意思自治原则协商确定。如果不能达成此类协议,则应根据具体案情充分赔偿债权人的利息损失,通常适用债权人营业地商业贷款利率或者参照支付货币国之利率。鉴于目前对公约大幅度修订的可能性不大,各国法院及仲裁机构应该本着促进公约统一适用的态度,致力于在本国内部形成较为统一的做法。我国作为公约最早的缔约国之一,应当在这一过程中发挥应有的作用。
Although Article 78 of the U.N. Convention on Contracts for the International Sale of Goods ("CISG") only consists of one simple sentence, it is one of the most disputed provisions among all Convention articles. Art.78 only provides that if a party fails to pay the price or any other sum that is in arrears, the other party is entitled to interest on it. Its legislative background shows that the article is the product of compromise and it does not come as a surprise that interest rates are one of the most litigated and discussed topics of the Convention. In the judicial practice, the primary dispute is whether the interest rate can be adjusted by CISG. That is, the question has been raised, whether the drafters'omission of a specific interest rate in the CISG has to be dealt with as a "lacuna intra legem"" or as a "lacuna praeter legem". This is the primary issue that many scholars have to clarify when study the gap issue of the Convention. The author agrees with the view of "lacuna praeter legem" that is the interest rate can be adjusted by CISG. Under the guidance of the principle of good faith and autonomy, the principle of full compensation can be applied to supplement it.
Although from the perspective of the uniform application of the Convention, the principle of full compensation can be used to determine the interest rate. However, it does not specifically identify that what kind of rate of which country should be adopted. In the judicial practice, the following methods are usually used in dealing with the issue of interest rates. Recourse to the law otherwise applicable by virtue of private international law; determined by municipal law of the creditor's state; determined by municipal law of the interest-debtor; determined by municipal law of place of payment; determined by lex fori; determined by law of payment currency; recourse to UNIDROIT principles or PECL; recourse to international usages etc. The different understanding of Article 78 by different courts and arbitral tribunals has accumulated abundant related materials. Through detailed analysis of judicial cases, we can see that there is no uniform approach to calculate the interest rate.
Article 6 of the Convention gives the parties full autonomy. Therefore, the parties can agree in contract to indicate what specific interest rate or method to calculate the rate. This is also the best way to avoid uncertainty.
It is no doubt that there are still many problems with CISG. So it is necessary to improve it by combining academic research and judicial experiences. Regarding to the amendment of the Article 78, the author suggests the approaches as below. First, the interest rate is determined by the parties according to the principle of Parties'Autonomy. If there is no such an agreement, the principle of full compensation should be used to compensate the interest loss of the creditor. Usually the bank lending rate of interest-creditor is applied or the law of the currency is referred in which payment of the purchase price has to be made. Since for the moment it is unlikely to revise the Conversation drastically, the courts and arbitral tribunals under the same country should adopt a uniform approach to promote the uniform application of the Convention. As one of the earliest contracting parties, China should play its role in this process.
尽管从有利于公约统一适用的角度,可以依据充分赔偿原则来确定利率。然而依据该基本原则并不能具体地确定适用哪一个国家的何种利率。司法实践中,在处理利率问题时,通常有如下方法：依据国际私法规则指引的准据法确定利率、适用债权人所在国利率、适用债务人所在国利率、适用支付地之利率、适用法院地利率、适用支付货币所属国之利率、依据一般原则或国际贸易惯例确定利率等等。各国法院及仲裁庭对公约第78条的不同理解累积了丰富的相关资料。通过对各国裁判实践的具体分析,可以看出实践中并没有统一的做法。
公约第6条赋予了当事人充分的意思自治。因此,当事人完全可以在合同中约定具体的条款来表明适用何种具体利率或是协商确定利率的方法。这也是目前避免不确定性的最好方法。
毫无疑问,公约尚存在很多问题,需要结合学术研究成果和司法实践经验予以完善。笔者对公约文本第78条的修订,提出以下建议：利率首先应由当事人根据意思自治原则协商确定。如果不能达成此类协议,则应根据具体案情充分赔偿债权人的利息损失,通常适用债权人营业地商业贷款利率或者参照支付货币国之利率。鉴于目前对公约大幅度修订的可能性不大,各国法院及仲裁机构应该本着促进公约统一适用的态度,致力于在本国内部形成较为统一的做法。我国作为公约最早的缔约国之一,应当在这一过程中发挥应有的作用。
Although Article 78 of the U.N. Convention on Contracts for the International Sale of Goods ("CISG") only consists of one simple sentence, it is one of the most disputed provisions among all Convention articles. Art.78 only provides that if a party fails to pay the price or any other sum that is in arrears, the other party is entitled to interest on it. Its legislative background shows that the article is the product of compromise and it does not come as a surprise that interest rates are one of the most litigated and discussed topics of the Convention. In the judicial practice, the primary dispute is whether the interest rate can be adjusted by CISG. That is, the question has been raised, whether the drafters'omission of a specific interest rate in the CISG has to be dealt with as a "lacuna intra legem"" or as a "lacuna praeter legem". This is the primary issue that many scholars have to clarify when study the gap issue of the Convention. The author agrees with the view of "lacuna praeter legem" that is the interest rate can be adjusted by CISG. Under the guidance of the principle of good faith and autonomy, the principle of full compensation can be applied to supplement it.
Although from the perspective of the uniform application of the Convention, the principle of full compensation can be used to determine the interest rate. However, it does not specifically identify that what kind of rate of which country should be adopted. In the judicial practice, the following methods are usually used in dealing with the issue of interest rates. Recourse to the law otherwise applicable by virtue of private international law; determined by municipal law of the creditor's state; determined by municipal law of the interest-debtor; determined by municipal law of place of payment; determined by lex fori; determined by law of payment currency; recourse to UNIDROIT principles or PECL; recourse to international usages etc. The different understanding of Article 78 by different courts and arbitral tribunals has accumulated abundant related materials. Through detailed analysis of judicial cases, we can see that there is no uniform approach to calculate the interest rate.
Article 6 of the Convention gives the parties full autonomy. Therefore, the parties can agree in contract to indicate what specific interest rate or method to calculate the rate. This is also the best way to avoid uncertainty.
It is no doubt that there are still many problems with CISG. So it is necessary to improve it by combining academic research and judicial experiences. Regarding to the amendment of the Article 78, the author suggests the approaches as below. First, the interest rate is determined by the parties according to the principle of Parties'Autonomy. If there is no such an agreement, the principle of full compensation should be used to compensate the interest loss of the creditor. Usually the bank lending rate of interest-creditor is applied or the law of the currency is referred in which payment of the purchase price has to be made. Since for the moment it is unlikely to revise the Conversation drastically, the courts and arbitral tribunals under the same country should adopt a uniform approach to promote the uniform application of the Convention. As one of the earliest contracting parties, China should play its role in this process.
引文
① See case text by U.S. District Court for the District of Kansas,28.04.2008, No.03-4165-JAR, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=1308&step=FullText, last visited on January 25,2011.
① See John Y. Gotanda, A Study of Interest (August 2007),Villanova University Legal Working Paper Series, Villanova University School of Law Working Paper Series, Working Paper 83,available at http://law.bepress.com/villanovalwps/papers/art83, last visited on January 25,2011.
②《瑞士联邦债法典》第104条[债务不履行之利息1：“债务人不履行金钱债务的应当按5%支付年度利息,不考虑由合同约定的更低利息。合同利率超过5%的,不管是由双方直接约定的或者由银行定期规定的定期利率,延迟履行时,有权请求支付该高额利息。支付地的银行贴现率超过5%的,商人之间交易的不履行可以按照该高利率支付利息。”《瑞士债法典》,吴兆祥、石佳友、孙淑研译,法律出版社2002年版,第23页。
③《意大利民法典》第1284条：“法定利率被确定为年利5%。国库部根据不超过12个月期的国库券的年平均毛收益和当年统计的通货膨胀率,在每年12月15日之前在意大利共和国官方公报上发布自己的政令,改变下一年度的利率。在12月15日之前未确定新利率的,原利率在下一年内保持不变。双方当事人未确定利息的,将以同样的利率计算意定利息。超过法定限度的利息应当以书面形式确认,否则利息应当限定于法定限度内。”《意大利民法典》,费安玲等译,中国政法大学出版社2004年版,第313页。
④根据2005年新修订的德国《民法典》(以下简称BGB),第288条明确规定了迟延利息义务及利率应如何适用：
‘(1)在迟延期间,必须支付金钱债务的利息。迟延的年利率为基准利率加5%。(2)在消费者未参与的法律行为的情况下,有偿债权的利率为基准利率加8%。(3)债权人可以由于其他法律上的原因而请求更高的利息。(4)不排除就其他损害主张赔偿。”(德国《民法典》,陈卫佐译注,法律出版社2006年2月第2版,第95页。)同时第247条规定：“(1)基准利率为3.62%。每年1月1日和7月1日,基准利率按关联利率从基准利率最后一次变动以来所上升或降低的百分点发生变动。关联利率是指在相关半年的第一个历日以前,欧洲中央银行最新的主要再融资行动的利率。(2)德意志银行在第1款第2句所称时间过后,不迟延地在《联邦公报》上公布现行基准利率。”德国《民法典》,陈卫佐译注,法律出版社2006年2月第2版,第85页。
⑤《葡萄牙民法典》第559条(利率)：“一、法定利息,以及在无制定利率或金额下订定之利息,由司法和财政 计划部以联合训令定出。二、以高于上款规定之利率订定利息时,应以书面为之,否则只按法定利息处理。”《葡萄牙民法典》,唐晓睛等译,北京大学出版社2009年版,第99页。
《法国民法典》第1153条第1款规定：“(1975年7月11日第75—619号法律)仅仅是支付一定款项的债务,因债之迟延履行而引起的损害赔偿,在任何情况下,都只能判令支付按法定利率计算的利息,但有关商事与保证之特别规则保留执行。”《法国民法典》,罗结珍译,法律出版社2005年版,第889页。
②我国合同法第207条规定,“借款人未按照约定的期限返还借款的,应当按照约定或者国家有关规定支付逾期利息”。
③参见李巍：《联合国国际货物销售合同公约评释》,法律出版社2009年10月第2版,第366页注释1。
①参见李巍：《联合国国际货物销售合同公约评释》,法律出版社2002版,第333页—334页。
②参见[德]彼得·施莱希特里姆(Peter Schlechtriem)《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版,第212页。
③[德]彼得·施莱希特里姆(Peter Schlechtriem)《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版,第213页。
See John O. Honnold, Uniform Law for International Sales under the 1980 United Nations Convention,3rd ed., Hague: Kluwer Law International,1999, pp.465-471, available at http://www.cisg.law.pace.edu/cisg/biblio/ho78.html,last visited on January 26,2011.
See Summary Record of the Plenary Meetings,11th Plenary Meeting,10 April 1980, available at http://CISGw3.law.pace.edu/CISG/plenarycommittee/summary 11.html, last visited on January 25,2011.
See the Arbitral Award by Internationales Schiedsgericht der Bundeskammer der gewerblichen Wirtschaft-Wien (Vienna), Austria,15.06.1994; No. SCH-4366. English translation available at http://www.unilex.info/case.cfm?pid=1&do=case&id=55&step=FullText, last visited on January 25,2011.
① See John Y. Gotanda, When Recessions Create Windfalls:The Problems of Using Domestic Law to Fix Interest Rates under Article 78 CISG reproduced with permission of 13 Vindobona Journal of International Commercial Law & Arbitration (1/2009) 229-240, available at http://www.cisg.law.pace.edu/cisg/biblio/gotanda4.html. last visited on January 25.2011.
See John Y. Gotanda, When Recessions Create Windfalls:The Problems of Using Domestic Law to Fix Interest Rates under Article 78 CISG, reproduced with permission of 13 Vindobona Journal of International Commercial Law & Arbitration (1/2009) 229-240, available at http://www.cisg.law.pace.edu/cisg/biblio/gotanda4.html, last visited on January 25.2011.
③第7条：“(1)在解释本公约时,应考虑到本公约的国际性质和促进其适用的统一以及在国际贸易上遵守诚信的需要。(2)凡本公约未明确解决的属于本公约范围的问题,应按照本公约所依据的一般原则来解决,在没有一般原则的情况下,则应按照国际私法规定适用的法律来解决。”
John O.Honnold, Uniform Law for International Sales under the 1980 United Nations Convention(2nd ed.),Deventer:Kluwer,1991,p 523.
② See Christian Thiele LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods. Reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration (1998) 3-35, available at http://cisgw3.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③ See Phanesh Koneru, The International Interpretation of the UN Convention on Contracts for the International Sale of Goods:An approach based on General Principles,6 Minn. J. Global Trade 105,127(1997).
④参见张湘兰、朱强：“《联合国国际货物买卖合同公约》下利率的确定”,《时代法学》2006年第1期,第83-87页。
See Alan F. Zoccolillo, Determination of the Interest Rate under the 1980 United Nations Convention on Contracts for the International Sale of Goods:General Principles vs. National Law, Reproduced with permission of 1 Vindobona http://cisgw3.law.pace.edu/cisg/biblio/zoccolillo.html,last visited on January 25,2011. Journal of International Commercial Law and Arbitration (1997)3-43,available at
John O.Honnold, Uniform Law for International Sales under the 1980 United Nations Convention(2nd ed.),Deventer:Kluwer,1991,p.523.
② See the Arbitral Award by Internationales Schiedsgericht der Bundeskammer der gewerblichen Wirtschaft-Wie (Vienna), Austria,15.06.1994, No. SCH-4366, English translation available at http://www.unilex.info/case.cfm?pid=1&do=case&id=55&step=FullText,last visited on January 25,2011.
③ See the Arbitral Award by Internationales Schiedsgericht der Bundeskammer der gewerblichen Wirtschaft-Wien (Vienna), Austria,15.06.1994, No. SCH-4366, English translation available at http://www.unilex.info/case.cfm?pid=1&do=case&id=55&step=FullText,last visited on January 25,2011.
④ See Amtsgericht (hereinafter AG) Oldenburg,24 April 1990 (5 C 73/89) (Germany); Landgericht (hereinafter LG) Hamburg,26 September 1990(5 O 543/88) (Germany), reprinted in Praxis des Internationales Privat-und Verfahrensrechts (IPRax) 400(1991)(UNILEX)(在该案中,德国法院判决支付13%的利率,尽管法定利率是5%,因为法定利率并没有反映出债权人的贷款利率)；Arbitral Award 7197 (Aus. v. Bulg), ICC Ct. Arb.(1993), reprinted in J. du Droit Int'l.,1028-37(1993)(在该案中仲裁庭并没有依据5%的法定利率进行裁决,而是裁决12%的利率,因为债权人通常的借贷利率是12%。)
① See Alan F. Zoccolillo, Determination of the Interest Rate under the 1980 United Nations Convention on Contracts for the International Sale of Goods:General Principles vs. National Law, Reproduced with permission of 1 Vindobona Journal of International Commercial Law and Arbitration (1997) 3-43,available at http://cisgw3.law.pace.edu/cisg/biblio/zoccolillo.html,last visited on January 25,2011.
②参见[德]彼得·施莱希特里姆(Peter Schlechtriem):《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版,第318页。
John O.Honnold, Uniform Law for International Sales under the 1980 United Nations Convention(2nd ed.),Deventer:Kluwer,1991, p.102.
③参见罗洁：“国际贸易一股原则与CISG漏洞补缺”,载《理论月刊》2008年弟11期,第138页。
①参见《贸易法委员会关于公约判例法摘要汇编》(2008年修订)第78条,A/CN.9/SER.C/DIGEST/CISG/78。
① See Case Abstract of the judgment by U.S. District Court for the District of New Jersey,15.04.2009, No.07-3031, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=1438&step=Abstract,last visited on January 25,2011.
① See case text(English translation) by Germany 29 October 2009 District Court Stuttgart (Artificial turf case) available at http://cisgw3.law.pace.edu/cases/091029gl.html.last visited on January 25,2011.
②参见(2007)大民四初字第20号民事判决书,载大连市中级人民法院网站,http://court.dl.gov.cn/info/2049_20274.vm,最后访问日期2010年6月26日。
③参见《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第136-151页。
④《国际饲料买卖合同争议仲裁裁决书》,载《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第143页。
① See case text(English translation) by Switzerland 7 May 1993 District Court Laufen, Canton Berne,7 May 1993, available at http://cisgw3.law.pace.edu/cases/930507s1.html,last visited on January 25,2011.
① See case text(English translation) by Tribunal of International Commercial Arbitration at the Russian Federation Chamber of Commerce and Industry,22 October 1998, available at http://cisgw3.law.pace.edu/cases/981022rl.html,last visited on January 25,2011.
② See case text(English translation) by Tribunal of International Commercial Arbitration at the Russian Federation Chamber of Commerce and Industry,27 July 1999, available at http://cisgw3.law.pace.edu/cases/990727rl.html,last visited on January 25,2011.
③ See case text(English translation) by Tribunal of International Commercial Arbitration at the Russian Federation Chamber of Commerce and Industry,10 February 2000, available at http://cisgw3.law.pace.edu/cases/000210rl.html,last visited on January 25,2011.
④ See Case Abstract of the judgment by U.S. District Court, North. District, Illinois, East. Div.21.05.2004, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=974&step=Abstract, last visited on January 25,2011.
⑤参见李巍：《联合国国际货物销售合同公约评释》,法律出版社2009年10月第2版,第366页。
① Christian Thiele LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods, reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration (1998) 3-35, available at http://cisgw3.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
① See Case Abstract of the judgment by ICC Court of Arbitration-Paris,1992, No.7153, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=15&step=Abstract,last visited on January 25,2011.
② See Christian Thiele, Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods,2 Vindobona Journal of International Commercial Law and Arbitration (1998); pp. 3-35,available at http://www.cisg.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③ See Christian Thiele, Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods,2 Vindobona Journal of International Commercial Law and Arbitration (1998); pp. 3-35,available at http://www.cisg.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
④ See case text by U.S. District Court, Northern District of New York [federal court of 1st instance],No.88-CV-1078,9 September 1994,available at http://cisgw3.law.pace.edu/cases/940909ul.html,last visited on January 25,2011.
⑤ See case text by U.S. Circuit Court of Appeals (2d. Cir.) [federal appellate court], No. Nos.185,717, Dockets 95-7182, 95-7186,6 December 1995, available at http://cisgw3.law.pace.edu/cases/951206ul.html, last visited on January 25, 2011.
①参见[美]曼昆：《经济学原理》(下册),梁小民译,三联书店、北京大学出版社2001年12月第2版,第259页。
See Christian Thiele, Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods,2 Vindobona Journal of International Commercial Law and Arbitration (1998); pp. 3-35,available at http://www.cisg.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③以记账方式办理收付的货币。有的国家同外国办理结算时,不使用现汇支付方式,而是根据有关协定或合同的规定,相互开立银行账户,双方之间业务往来的收入和支出,均以记账方式办理收付。记账支付的具体办法是：签约双方委托各自的往来银行相互以对方名义开立清算账户办理协定或合同规定的各项收付。清算账户与现汇账户一样,必须明确标明以何种货币为记账单位。记账一般采用国际上通用的货币,
① See Case Fulltext of the judgment by ICC International Court of Arbitration,2003, No.11849, available at httD://www.unilex.info/case.cfm?pid=1&do=case&id=1160&step=FullText, last visited on January 25,2011.
② See Case Abstract of the judgment by Hungarian Chamber of Commerce and Industry Court of Arbitration, 17.11.1995, No. VB/94124, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=217&step=Abstract, last visited on January 25,2011.
Francesco G. Mazzotta, CISG Articles 78 and 84(1) and their PECL counterpart available at http://cisgw3.law.pace.edu/cisg/text/peclcomp78.html#fmi,last visited on January 25,2011.
② Christian Thiele LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention o Contracts for the International Sale of Goods, Reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration (1998) 3-35, available at http://cisgw3.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③第9条规定如下：“(1)双方当事人业已同意的任何惯例和他们之间确立的任何习惯做法,对双方当事人均有约束力。(2)除非另有协议,双方当事人应视为已默示地同意对他们的合同或合同的订立适用双方当事人已知道或理应知道的惯例,而这种惯例,在国际贸易上,已为有关特定贸易所涉同类合同的当事人所广泛知道并为他们所经常遵守。”
③ See case text(English translation) by Argentina National Commercial Court of First Instance,23 October 1991, available at http://cisgw3.law.pace.edu/cases/911023al.html,last visited on January 25,2011.
① See case text(English translation) by France Appellate Court Paris,6 April 1995, available at http://cisgw3.law.pace.edu/cases/y5U406fl.html,last visited on January 25,2011.
②(2006)沪二中民五(商)初字第28号民事判决书, http://www.shezfy.com/spyj/cpws view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月25日最后访问。
③(2006)沪二中民五(商)初字第28号民事判决书, http://www.shezfy.com/spyj/cpws view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月25日最后访问。
④[德]罗伯特·霍恩等：《德国民商法导论》(中译本),中国大百科全书出版社1996年版,第90页。转引自戴小东：“国际私法中意思自治原则的新发展及其价值分析”,中国国际私法学会2010年年会暨涉外民事关系法律适用法研讨会论文集(上),第339页。
See case text(English translation) by Argentina National Commercial Court of First Instance,6 October 1994, No. 56.179, available at http://cisgw3.law.pace.edu/cases/941006al.html, last visited on January 25,2011.
① See Judgment by Pretore della giurisdizione [District Court] di Locarno Campagna (Canton of Ticino), Switzerland 16 December 1991; No.15/91. English translation by Danijela Luksic. Available at http://cisgw3.law.pace.edu/cases/911216sl.html, last visited on January 25,2011.
② See Case Abstract of the Judgment by Tribunal Cantonal Valais [Canton Appellate Court], Switzerland 28 October 1997; No. C1 97 167. Available at http://www.unilex.info/case.cfm?pid=1&do=case&id=311&step=Abstract, last visited on January 25,2011.
③ See Judgment by OLG Frankfurt [OLG=Oberlandesgericht=Provincial Court of Appeal] Germany 18 January 1994; No.5 U 15/93. English translation from 14 Journal of Law and Commerce 201-207(1995). Available at http://cisgw3.law.pace.edu/cases/940118gl.html, last visited on January 25,2011.
④ See Judgment by OLG Diisseldorf [OLG=Oberlandesgericht=Provincial Court of Appeal], Germany 24 April 1997 No.6 U 87/96. English translation bv Julian Waiblineer. Available at http://cisew3.law.pace.edu/cases/970424gl.html, last visited on January 25,2011. last visited on January 25,2011.
① See Case Abstract of the Judgment by HG St. Gallen [HG=Handelsgericht=Commercial Court], Switzerland 5 December 1995;No. HG 45/1994.Available at httD://www.unilex.info/case.cfm?pid=1&do=case&id=190&sten=Abstract.last visited on Januarv 25.2011.
② See Case Abstract of the Judgment by AG Bottrop [AG=Amtsgericht=Petty District Court], Germany 25 June 1996; No.12 C 177/96. Available at http://www.unilex.info/case.cfm?pid=1&do=case&id=289&step=Abstract, last visited on January 25,2011.
③ See Judgment by AG Koblenz [AG=Amtsgericht=Petty District Court], Germany 12 November 1996; No.16 C 1056/96. English translation by Jarno Vanto, translation edited by Ruth M. Janal. Available at http://cisgw3.law.pace.edu/cases/961112gl.html, last visited on January 25,2011.
④ See Judgment by KG Schaffhausen [KG=Kantonsgericht=District Court], Switzerland 12 December 2002; No. A3 200134. English translation by Ruth M. Janal. Available at http://cisgw3.law.pace.edu/cases/021212sl.html, last visited on Januarv 25.2011.
Bonell,in Bianca-Bonell, Commentary on the International Sales Law, Giuffre Milan,1987, p.17转引自张湘兰、朱强：“《联合国国际货物买卖合同公约》下利率的确定”,《时代法学》2006年第1期,第88页。
②刘朋：“论《联合国国际货物销售合同公约》第78条的统一适用——以利率的确定为视角”,《河北法学》2010年第3期。
①参见汪治平：“解读《关于修改(最高人民法院关于逾期付款违约金应当按照何种标准计算问题的批复>的批复》”,http://www.zwmscp.com/a/qingshidafu/xinwentijieda/2010/0709/878.html,中外民商裁判网,2010年8月29日最后访问。
②参见《合同中未约定逾期付款责任时,合同逾期付款违约金的标准是什么?》,http://www.copycheck.com.cn/Compare?purl=http://www.pinlvshi.com/zpfz.asp?id=10,中国辩护律师网,2010年8月29日最后访问。
① http://baike.baidu.com/view/96050.htm?fr=alaO11,2010年8月28日最后访问。
② http://www.gzhsfy.org/showanli.php?id=3343,广州海事法院网,2010年6月25日最后访问。
③(2002)武经初字第116号民事判决书。http://whfy.chinacourt.org/public/detail.php?id=95,武汉中级人民法院网站,2010年6月26日最后访问。
①(2002)武经初字第116号民事判决书。http://whfy.chinacourt.org/public/detail.php?id=95,武汉中级人民法院网站,2010年6月26日最后访问。
②http：//www.shezfy.com/spyj/cpws_view.aspx?id=5994,上海市第二中级人民法院网站,2010年6月26日最后访问。
③http://www.shezfy.com/spyj/cpws_view.aspx?id=6010,上海市第二中级人民法院网站,2010年6月26日最后访问。
④(2006)沪二中民五(商)初字第28号民事判决书。http://www.sheafy.com/spyj/cpws_view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月26日最后访问。
(2006)沪二中民五(商)初字第28号民事判决书。http://www.shezfy.com/spyj/cpws view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月26日最后访问。
②(2007)大民四初字第20号民事判决书。http://court.dl.gov.cn/info/2049 20274.vm,大连市中级人民法院网站,2010年6月26日最后访问。
③(2007)大民四初字第20号民事判决书。http://court.dl.gov.cn/info/2049 20274.vm,大连市中级人民法院网站,2010年6月26日最后访问。
④(2007)大民四初字第20号民事判决书。http://court.dl.gov.cn/info/2049 20274.vm,大连市中级人民法院网站,2010年6月26日最后访问。
①参见寇立耘：“国际仲裁中的利息”,载中国国际经济贸易仲裁委员会官方网站,http://cn.cietac.org/TheoryResearch/Theory2.asp,中国国际经济贸易仲裁委员(CIETAC)网站理论研究板块,2010年7月2日最后访问。
②例如英国1950年《仲裁法》规定法院和仲裁庭对利息问题(单利)拥有明确的自由裁量权,可以以他们认为适当的期限和利率对裁决作出日之前的利息进行裁决。1996年《仲裁法》则在此基础上加以扩张：1、可以裁决复利；2、除非当事人作出相反约定,可以裁决至实际付款日。德国法则规定利息问题属于强行性规则(mandatoryrules),法院和仲裁庭必须根据民法典和商法典中确定的规则对利息问题作出裁决。参见寇立耘：“国际仲裁中的利息”,http://cn.cietac.org/TheoryResearch/Theory2.asp,中国国际经济贸易仲裁委员(CIETAC)网站理论研究板块,2010年7月2日最后访问。
③参见《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第169-186页。
①《国际饲料买卖合同争议仲裁裁决书》,载《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第143页。
②参见《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第213-228页。
③《贸易法委员会关于公约判例法摘要汇编》(2008年修订)第78条,A/CN.9/SER.C/DIGEST/CISG/78。
1.[德]彼得·施莱希特里姆：《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版。
2.韩德培主编：《国际私法新论》,武汉大学出版社2003年版。
3.国际统一私法协会：《国际商事合同通则》,商务部条法司译,法律出版社2004年版。
4.理查德·波斯纳：《法官如何思考》,苏力译,北京大学出版社2009年版。
5.李双元、金彭年、张茂、欧福勇：《中国国际私法通论》,法律出版社2003年1月第2版。
6.李巍：《联合国国际货物销售合同公约评释》,法律出版社2009年10月第2版。
7.梁西、宋连斌：《法学教育方法论》,武汉大学出版社2009年版。
8.刘瑛：《<联合国国际货物销售合同公约>解释问题研究》,法律出版社2009年版。
9.[德]马丁·沃尔夫：《国际私法》(上、下)(第二版),李浩培、汤宗舜译,北京大学出版社2009年版。
10.[美]曼昆：《经济学原理》(下册),梁小民译,三联书店、北京大学出版社2001年12月第2版。
11.孙林主编：《写给法律人的经济词汇》,法律出版社2004年版。
12.《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版。
13.左海聪主编：《国际商法》,法律出版社2008年版。
14.《瑞士债法典》,吴兆祥、石佳友、孙淑研译,法律出版社2002年版。
15.《意大利民法典》,费安玲等译,中国政法大学出版社2004年版。
16.德国《民法典》,陈卫佐译注,法律出版社2006年2月第2版。
17.《葡萄牙民法典》,唐晓晴等译,北京大学出版社2009年版。
18.《法国民法典》,罗结珍译,法律出版社2005年版。
1.戴小东：“国际私法中意思自治原则的新发展及其价值分析”,中国国际私法学会2010年年会暨涉外民事关系法律适用法研讨会论文集(上)。
2.刘朋：“论<联合国国际货物销售合同公约>第78条的统一适用——以利率的确定为视角”,《河北法学》2010年第3期。
3.罗洁：“国际贸易一般原则与CISG漏洞补缺”,《理论月刊》2008年第11期。
4.申婕：“CISG中损害赔偿范围的研究”,苏州大学2009届硕士学位论文。
5.王追林：“国际贸易索赔中的利息问题”,《国际贸易问题》1991年第1期。
6.曾丽凌：“论<国际货物销售合同公约>未决问题之法律适用”,《漳州师范学院学报》(哲学社会科学版)2009年第3期。
7.张湘兰、朱强：“《联合国国际货物买卖合同公约》下利率的确定”,《时代法学》2006年第4卷第1期。
1.《联合国国际货物销售合同公约》,Convention on Contracts for the International Sale of Goods。
2.《贸易法委员会关于公约判例法摘要汇编》(2008年修订)第78条,A/CN.9/SER. C/DIGEST/CISG/78。
二.英文参考文献
Ⅰ.Books
1. Honnold O.John,Uniform Law for International Sales under the 1980 United Nations Convention, Hague:Kluwer Law International,3rd ed.1999, pp.465-471.
2. Honnold O.John, Documentary History of the Uniform Law for International Sales, Deventer&Boston:Kluwer,,1989,p.1.
3. Ignaz Seidl-Hohenveldern, International Economic Law, the Hague-London-Boston: Kluwer Law International,3rd ed.,1999.
4.[英]埃万·卖肯骓克(Ewan McKendrick),契约法(CONTRACT LAW)第四版 (4th edition)(英文版),法律出版社2003年版
1. Behr Volker, the Sales Convention in Europe:From Problems in Drafting to Problems in Practice,17Journal of Law and Commerce263-299 (1998).
2. Corterier Andre, A New Approach to Solving the Problem of the Interest Rate Under Article 78 CISG, reproduced with permission of 5 International Trade and Business Law Annual 33-42(2000).
3. Darkey M.Joanne, A U.S. Court's Interpretation of Damage Provisions Under the U.N. Convention On Contracts for the International Sale of Goods:A Preliminary Step Towards an International Jurisprudence of CISG or a Missed Opportunity? 15 J. L. & Com. 139,149(1995).
4. Eiselen Sieg, Remarks on the Manner in which the UNIDROIT Principles of International Commercial Contracts May Be Used to Interpret or Supplement Article 78 of the CISG, available at http://cisgw3.law.pace.edu/cisg/principles/uni78.html,visited on January 25,2011.
5. Ferrari Franco, Uniform Interpretation of the 1980 Uniform Sales Law, Georgia Journal of International and Comparative Law, Vol.24,1994.
6. Garro M.Alejandro, The Gap-Filling Role of the UNIDROIT Principles in International Sales Law:Some Comments on the Interplay Between the Principles and the CISG 1149,1157(1995).
7. Gotanda Y.John, A Study of Interest (August 2007). Villanova University Legal Working Paper Series. Villanova University School of Law Working Paper Series. Working Paper 83. available at http://law.bepress.com/villanovalwps/papers/art83, visited on January 25,2011.
8. Gotanda Y.John, When Recessions Create Windfalls:The Problems of Using Domestic Law to Fix Interest Rates under Article 78 CISG, reproduced with permission of 13 Vindobona Journal of International Commercial Law & Arbitration 229-240(2009).
9. Hillman A.Robert, Applying the United Nations Convention on Contracts for the International Sale of Goods:The Elusive Goal of Uniformity,Cornell Review of the Convention on Contracts for the International Sale of Goods,26-27(1995).
10. Koneru Phanesh, The International Interpretation of the UN Convention on Contracts for the International Sale of Goods:An approach based on General Principles,6 Minn. J. Global Trade 105,127(1997).
11. Liu Chengwei, Recovery of Interest, Reproduced with the permission of the author. For pdf law journal text, go to the Nordic Journal of Commercial Law of the University of Turku, Finland, Issue 2003 # 1, available at http://cisgw3.law.pace.edu/cisg/blio/liu.html, visited on January 25,2011.
12. Mazzotta G. Francesco, CISG Articles 78 and 84(1) and their PECL counterparts, available at http://cisgw3.law.pace.edu/cisg/text/peclcomp78.html#fmi, visited on January 25,2011.
13. Mazzotta G. Francesco, CISG Article 78:Endless disagreement among commentators much less among the courts, available at http://cisgw3.law.pace.edu/cisg/biblio/mazzotta78.html, visited on January 25,2011.
14. M. Hunter,& V. Triebel, Awarding Interest in International Arbitration:Some Observations Based on a Comparative Study of the Laws of England and Germany"(1989) 6 Journal of International Arbitration 7.
15. Orlandi, C.G., Procedural Law Issues and Law Conventions 5 Uniform Law Review 23(2000).
16. Thiele Christian LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods, Reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration 3-35(1998).
17. Twibell T.S., Implementation of the United Nations Convention on Contracts for the International Sale of Goods (CISG) under Shari'a Law:Will Article 78 of the CISG Be Enforced When the Forum Is an Islamic State? 9 International Legal Perspectives 25-92(1997).
18. Zoccolillo F. Alan, Determination of the Interest Rate under the 1980 United Nations Convention on Contracts for the International Sale of Goods:General Principles vs. National Law, Reproduced with permission of 1 Vindobona Journal of International Commercial Law and Arbitration 3-43(1997).
1、UNILEX是由意大利国家研究理事会和罗马国际统一私法学会共同发起的比较法和国际法研究中心项目从1992年开始建设的数据库,提供《公约》和《通则》成案的检索。网址是http://www.unilex.info,同时它也提供成案编纂的书面版本和光盘版本。
2、CLOUT是联合国国际贸易法委员会官方网站上提供的一个判例法系统,始于1988年,提供《公约》和《联合国国际商事仲裁示范法》的成案资料检索。网址是http://www.uncitral.org/urcicitral/zh/case_law.html。
3、佩斯大学的《公约》研究在世界范围内享有盛名,该大学所维护的《公约》研究网站也是《公约》研究者的乐园,提供《公约》自身包括其立法过程文件、秘书处评论的介绍,《公约》研究论著的目录和部分论著的全文浏览和下载等,当然也包括《公约》案例。
佩斯大学的《公约》案例数据库最大的特点是其研究性较强。它除了提供案例全文,还为每个案件配备摘要、评论以凸显其理论性和研究性。除原始语言版本的案件全文外,佩斯大学数据库还为一些案例提供英文翻译本,这是前两个《公约》数据库没有的。相对而言,佩斯大学网站上的《公约》案例数量也较多。不足之处在于,它没有UNILEX那么细的事项分类检索,也没有CLOUT语言上的多元化。网址是http://wwww.ci sg.law.pace.edu.
1.大连市中级人民法院网站,http://court.dl.gov.cn/。
2.上海市第二中级人民法院网站,http://www.shezfy.com/main.aspx.
3.武汉法院网,http://whfy.chinacourt.org/.
4.广州海事法院网,http://www.gzhsfy.org/.
5.中国涉外商事海事审判网,http://www.ccmt.org.cn/
6.中外民商裁判网,http://www.zwmscp.com7。
7.中国国际经济贸易仲裁委员会官方网站,http://www.cietac.org/
① See John Y. Gotanda, A Study of Interest (August 2007),Villanova University Legal Working Paper Series, Villanova University School of Law Working Paper Series, Working Paper 83,available at http://law.bepress.com/villanovalwps/papers/art83, last visited on January 25,2011.
②《瑞士联邦债法典》第104条[债务不履行之利息1：“债务人不履行金钱债务的应当按5%支付年度利息,不考虑由合同约定的更低利息。合同利率超过5%的,不管是由双方直接约定的或者由银行定期规定的定期利率,延迟履行时,有权请求支付该高额利息。支付地的银行贴现率超过5%的,商人之间交易的不履行可以按照该高利率支付利息。”《瑞士债法典》,吴兆祥、石佳友、孙淑研译,法律出版社2002年版,第23页。
③《意大利民法典》第1284条：“法定利率被确定为年利5%。国库部根据不超过12个月期的国库券的年平均毛收益和当年统计的通货膨胀率,在每年12月15日之前在意大利共和国官方公报上发布自己的政令,改变下一年度的利率。在12月15日之前未确定新利率的,原利率在下一年内保持不变。双方当事人未确定利息的,将以同样的利率计算意定利息。超过法定限度的利息应当以书面形式确认,否则利息应当限定于法定限度内。”《意大利民法典》,费安玲等译,中国政法大学出版社2004年版,第313页。
④根据2005年新修订的德国《民法典》(以下简称BGB),第288条明确规定了迟延利息义务及利率应如何适用：
‘(1)在迟延期间,必须支付金钱债务的利息。迟延的年利率为基准利率加5%。(2)在消费者未参与的法律行为的情况下,有偿债权的利率为基准利率加8%。(3)债权人可以由于其他法律上的原因而请求更高的利息。(4)不排除就其他损害主张赔偿。”(德国《民法典》,陈卫佐译注,法律出版社2006年2月第2版,第95页。)同时第247条规定：“(1)基准利率为3.62%。每年1月1日和7月1日,基准利率按关联利率从基准利率最后一次变动以来所上升或降低的百分点发生变动。关联利率是指在相关半年的第一个历日以前,欧洲中央银行最新的主要再融资行动的利率。(2)德意志银行在第1款第2句所称时间过后,不迟延地在《联邦公报》上公布现行基准利率。”德国《民法典》,陈卫佐译注,法律出版社2006年2月第2版,第85页。
⑤《葡萄牙民法典》第559条(利率)：“一、法定利息,以及在无制定利率或金额下订定之利息,由司法和财政 计划部以联合训令定出。二、以高于上款规定之利率订定利息时,应以书面为之,否则只按法定利息处理。”《葡萄牙民法典》,唐晓睛等译,北京大学出版社2009年版,第99页。
《法国民法典》第1153条第1款规定：“(1975年7月11日第75—619号法律)仅仅是支付一定款项的债务,因债之迟延履行而引起的损害赔偿,在任何情况下,都只能判令支付按法定利率计算的利息,但有关商事与保证之特别规则保留执行。”《法国民法典》,罗结珍译,法律出版社2005年版,第889页。
②我国合同法第207条规定,“借款人未按照约定的期限返还借款的,应当按照约定或者国家有关规定支付逾期利息”。
③参见李巍：《联合国国际货物销售合同公约评释》,法律出版社2009年10月第2版,第366页注释1。
①参见李巍：《联合国国际货物销售合同公约评释》,法律出版社2002版,第333页—334页。
②参见[德]彼得·施莱希特里姆(Peter Schlechtriem)《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版,第212页。
③[德]彼得·施莱希特里姆(Peter Schlechtriem)《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版,第213页。
See John O. Honnold, Uniform Law for International Sales under the 1980 United Nations Convention,3rd ed., Hague: Kluwer Law International,1999, pp.465-471, available at http://www.cisg.law.pace.edu/cisg/biblio/ho78.html,last visited on January 26,2011.
See Summary Record of the Plenary Meetings,11th Plenary Meeting,10 April 1980, available at http://CISGw3.law.pace.edu/CISG/plenarycommittee/summary 11.html, last visited on January 25,2011.
See the Arbitral Award by Internationales Schiedsgericht der Bundeskammer der gewerblichen Wirtschaft-Wien (Vienna), Austria,15.06.1994; No. SCH-4366. English translation available at http://www.unilex.info/case.cfm?pid=1&do=case&id=55&step=FullText, last visited on January 25,2011.
① See John Y. Gotanda, When Recessions Create Windfalls:The Problems of Using Domestic Law to Fix Interest Rates under Article 78 CISG reproduced with permission of 13 Vindobona Journal of International Commercial Law & Arbitration (1/2009) 229-240, available at http://www.cisg.law.pace.edu/cisg/biblio/gotanda4.html. last visited on January 25.2011.
See John Y. Gotanda, When Recessions Create Windfalls:The Problems of Using Domestic Law to Fix Interest Rates under Article 78 CISG, reproduced with permission of 13 Vindobona Journal of International Commercial Law & Arbitration (1/2009) 229-240, available at http://www.cisg.law.pace.edu/cisg/biblio/gotanda4.html, last visited on January 25.2011.
③第7条：“(1)在解释本公约时,应考虑到本公约的国际性质和促进其适用的统一以及在国际贸易上遵守诚信的需要。(2)凡本公约未明确解决的属于本公约范围的问题,应按照本公约所依据的一般原则来解决,在没有一般原则的情况下,则应按照国际私法规定适用的法律来解决。”
John O.Honnold, Uniform Law for International Sales under the 1980 United Nations Convention(2nd ed.),Deventer:Kluwer,1991,p 523.
② See Christian Thiele LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods. Reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration (1998) 3-35, available at http://cisgw3.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③ See Phanesh Koneru, The International Interpretation of the UN Convention on Contracts for the International Sale of Goods:An approach based on General Principles,6 Minn. J. Global Trade 105,127(1997).
④参见张湘兰、朱强：“《联合国国际货物买卖合同公约》下利率的确定”,《时代法学》2006年第1期,第83-87页。
See Alan F. Zoccolillo, Determination of the Interest Rate under the 1980 United Nations Convention on Contracts for the International Sale of Goods:General Principles vs. National Law, Reproduced with permission of 1 Vindobona http://cisgw3.law.pace.edu/cisg/biblio/zoccolillo.html,last visited on January 25,2011. Journal of International Commercial Law and Arbitration (1997)3-43,available at
John O.Honnold, Uniform Law for International Sales under the 1980 United Nations Convention(2nd ed.),Deventer:Kluwer,1991,p.523.
② See the Arbitral Award by Internationales Schiedsgericht der Bundeskammer der gewerblichen Wirtschaft-Wie (Vienna), Austria,15.06.1994, No. SCH-4366, English translation available at http://www.unilex.info/case.cfm?pid=1&do=case&id=55&step=FullText,last visited on January 25,2011.
③ See the Arbitral Award by Internationales Schiedsgericht der Bundeskammer der gewerblichen Wirtschaft-Wien (Vienna), Austria,15.06.1994, No. SCH-4366, English translation available at http://www.unilex.info/case.cfm?pid=1&do=case&id=55&step=FullText,last visited on January 25,2011.
④ See Amtsgericht (hereinafter AG) Oldenburg,24 April 1990 (5 C 73/89) (Germany); Landgericht (hereinafter LG) Hamburg,26 September 1990(5 O 543/88) (Germany), reprinted in Praxis des Internationales Privat-und Verfahrensrechts (IPRax) 400(1991)(UNILEX)(在该案中,德国法院判决支付13%的利率,尽管法定利率是5%,因为法定利率并没有反映出债权人的贷款利率)；Arbitral Award 7197 (Aus. v. Bulg), ICC Ct. Arb.(1993), reprinted in J. du Droit Int'l.,1028-37(1993)(在该案中仲裁庭并没有依据5%的法定利率进行裁决,而是裁决12%的利率,因为债权人通常的借贷利率是12%。)
① See Alan F. Zoccolillo, Determination of the Interest Rate under the 1980 United Nations Convention on Contracts for the International Sale of Goods:General Principles vs. National Law, Reproduced with permission of 1 Vindobona Journal of International Commercial Law and Arbitration (1997) 3-43,available at http://cisgw3.law.pace.edu/cisg/biblio/zoccolillo.html,last visited on January 25,2011.
②参见[德]彼得·施莱希特里姆(Peter Schlechtriem):《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版,第318页。
John O.Honnold, Uniform Law for International Sales under the 1980 United Nations Convention(2nd ed.),Deventer:Kluwer,1991, p.102.
③参见罗洁：“国际贸易一股原则与CISG漏洞补缺”,载《理论月刊》2008年弟11期,第138页。
①参见《贸易法委员会关于公约判例法摘要汇编》(2008年修订)第78条,A/CN.9/SER.C/DIGEST/CISG/78。
① See Case Abstract of the judgment by U.S. District Court for the District of New Jersey,15.04.2009, No.07-3031, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=1438&step=Abstract,last visited on January 25,2011.
① See case text(English translation) by Germany 29 October 2009 District Court Stuttgart (Artificial turf case) available at http://cisgw3.law.pace.edu/cases/091029gl.html.last visited on January 25,2011.
②参见(2007)大民四初字第20号民事判决书,载大连市中级人民法院网站,http://court.dl.gov.cn/info/2049_20274.vm,最后访问日期2010年6月26日。
③参见《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第136-151页。
④《国际饲料买卖合同争议仲裁裁决书》,载《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第143页。
① See case text(English translation) by Switzerland 7 May 1993 District Court Laufen, Canton Berne,7 May 1993, available at http://cisgw3.law.pace.edu/cases/930507s1.html,last visited on January 25,2011.
① See case text(English translation) by Tribunal of International Commercial Arbitration at the Russian Federation Chamber of Commerce and Industry,22 October 1998, available at http://cisgw3.law.pace.edu/cases/981022rl.html,last visited on January 25,2011.
② See case text(English translation) by Tribunal of International Commercial Arbitration at the Russian Federation Chamber of Commerce and Industry,27 July 1999, available at http://cisgw3.law.pace.edu/cases/990727rl.html,last visited on January 25,2011.
③ See case text(English translation) by Tribunal of International Commercial Arbitration at the Russian Federation Chamber of Commerce and Industry,10 February 2000, available at http://cisgw3.law.pace.edu/cases/000210rl.html,last visited on January 25,2011.
④ See Case Abstract of the judgment by U.S. District Court, North. District, Illinois, East. Div.21.05.2004, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=974&step=Abstract, last visited on January 25,2011.
⑤参见李巍：《联合国国际货物销售合同公约评释》,法律出版社2009年10月第2版,第366页。
① Christian Thiele LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods, reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration (1998) 3-35, available at http://cisgw3.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
① See Case Abstract of the judgment by ICC Court of Arbitration-Paris,1992, No.7153, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=15&step=Abstract,last visited on January 25,2011.
② See Christian Thiele, Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods,2 Vindobona Journal of International Commercial Law and Arbitration (1998); pp. 3-35,available at http://www.cisg.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③ See Christian Thiele, Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods,2 Vindobona Journal of International Commercial Law and Arbitration (1998); pp. 3-35,available at http://www.cisg.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
④ See case text by U.S. District Court, Northern District of New York [federal court of 1st instance],No.88-CV-1078,9 September 1994,available at http://cisgw3.law.pace.edu/cases/940909ul.html,last visited on January 25,2011.
⑤ See case text by U.S. Circuit Court of Appeals (2d. Cir.) [federal appellate court], No. Nos.185,717, Dockets 95-7182, 95-7186,6 December 1995, available at http://cisgw3.law.pace.edu/cases/951206ul.html, last visited on January 25, 2011.
①参见[美]曼昆：《经济学原理》(下册),梁小民译,三联书店、北京大学出版社2001年12月第2版,第259页。
See Christian Thiele, Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods,2 Vindobona Journal of International Commercial Law and Arbitration (1998); pp. 3-35,available at http://www.cisg.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③以记账方式办理收付的货币。有的国家同外国办理结算时,不使用现汇支付方式,而是根据有关协定或合同的规定,相互开立银行账户,双方之间业务往来的收入和支出,均以记账方式办理收付。记账支付的具体办法是：签约双方委托各自的往来银行相互以对方名义开立清算账户办理协定或合同规定的各项收付。清算账户与现汇账户一样,必须明确标明以何种货币为记账单位。记账一般采用国际上通用的货币,
① See Case Fulltext of the judgment by ICC International Court of Arbitration,2003, No.11849, available at httD://www.unilex.info/case.cfm?pid=1&do=case&id=1160&step=FullText, last visited on January 25,2011.
② See Case Abstract of the judgment by Hungarian Chamber of Commerce and Industry Court of Arbitration, 17.11.1995, No. VB/94124, available at http://www.unilex.info/case.cfm?pid=1&do=case&id=217&step=Abstract, last visited on January 25,2011.
Francesco G. Mazzotta, CISG Articles 78 and 84(1) and their PECL counterpart available at http://cisgw3.law.pace.edu/cisg/text/peclcomp78.html#fmi,last visited on January 25,2011.
② Christian Thiele LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention o Contracts for the International Sale of Goods, Reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration (1998) 3-35, available at http://cisgw3.law.pace.edu/cisg/biblio/thiele.html,last visited on January 25,2011.
③第9条规定如下：“(1)双方当事人业已同意的任何惯例和他们之间确立的任何习惯做法,对双方当事人均有约束力。(2)除非另有协议,双方当事人应视为已默示地同意对他们的合同或合同的订立适用双方当事人已知道或理应知道的惯例,而这种惯例,在国际贸易上,已为有关特定贸易所涉同类合同的当事人所广泛知道并为他们所经常遵守。”
③ See case text(English translation) by Argentina National Commercial Court of First Instance,23 October 1991, available at http://cisgw3.law.pace.edu/cases/911023al.html,last visited on January 25,2011.
① See case text(English translation) by France Appellate Court Paris,6 April 1995, available at http://cisgw3.law.pace.edu/cases/y5U406fl.html,last visited on January 25,2011.
②(2006)沪二中民五(商)初字第28号民事判决书, http://www.shezfy.com/spyj/cpws view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月25日最后访问。
③(2006)沪二中民五(商)初字第28号民事判决书, http://www.shezfy.com/spyj/cpws view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月25日最后访问。
④[德]罗伯特·霍恩等：《德国民商法导论》(中译本),中国大百科全书出版社1996年版,第90页。转引自戴小东：“国际私法中意思自治原则的新发展及其价值分析”,中国国际私法学会2010年年会暨涉外民事关系法律适用法研讨会论文集(上),第339页。
See case text(English translation) by Argentina National Commercial Court of First Instance,6 October 1994, No. 56.179, available at http://cisgw3.law.pace.edu/cases/941006al.html, last visited on January 25,2011.
① See Judgment by Pretore della giurisdizione [District Court] di Locarno Campagna (Canton of Ticino), Switzerland 16 December 1991; No.15/91. English translation by Danijela Luksic. Available at http://cisgw3.law.pace.edu/cases/911216sl.html, last visited on January 25,2011.
② See Case Abstract of the Judgment by Tribunal Cantonal Valais [Canton Appellate Court], Switzerland 28 October 1997; No. C1 97 167. Available at http://www.unilex.info/case.cfm?pid=1&do=case&id=311&step=Abstract, last visited on January 25,2011.
③ See Judgment by OLG Frankfurt [OLG=Oberlandesgericht=Provincial Court of Appeal] Germany 18 January 1994; No.5 U 15/93. English translation from 14 Journal of Law and Commerce 201-207(1995). Available at http://cisgw3.law.pace.edu/cases/940118gl.html, last visited on January 25,2011.
④ See Judgment by OLG Diisseldorf [OLG=Oberlandesgericht=Provincial Court of Appeal], Germany 24 April 1997 No.6 U 87/96. English translation bv Julian Waiblineer. Available at http://cisew3.law.pace.edu/cases/970424gl.html, last visited on January 25,2011. last visited on January 25,2011.
① See Case Abstract of the Judgment by HG St. Gallen [HG=Handelsgericht=Commercial Court], Switzerland 5 December 1995;No. HG 45/1994.Available at httD://www.unilex.info/case.cfm?pid=1&do=case&id=190&sten=Abstract.last visited on Januarv 25.2011.
② See Case Abstract of the Judgment by AG Bottrop [AG=Amtsgericht=Petty District Court], Germany 25 June 1996; No.12 C 177/96. Available at http://www.unilex.info/case.cfm?pid=1&do=case&id=289&step=Abstract, last visited on January 25,2011.
③ See Judgment by AG Koblenz [AG=Amtsgericht=Petty District Court], Germany 12 November 1996; No.16 C 1056/96. English translation by Jarno Vanto, translation edited by Ruth M. Janal. Available at http://cisgw3.law.pace.edu/cases/961112gl.html, last visited on January 25,2011.
④ See Judgment by KG Schaffhausen [KG=Kantonsgericht=District Court], Switzerland 12 December 2002; No. A3 200134. English translation by Ruth M. Janal. Available at http://cisgw3.law.pace.edu/cases/021212sl.html, last visited on Januarv 25.2011.
Bonell,in Bianca-Bonell, Commentary on the International Sales Law, Giuffre Milan,1987, p.17转引自张湘兰、朱强：“《联合国国际货物买卖合同公约》下利率的确定”,《时代法学》2006年第1期,第88页。
②刘朋：“论《联合国国际货物销售合同公约》第78条的统一适用——以利率的确定为视角”,《河北法学》2010年第3期。
①参见汪治平：“解读《关于修改(最高人民法院关于逾期付款违约金应当按照何种标准计算问题的批复>的批复》”,http://www.zwmscp.com/a/qingshidafu/xinwentijieda/2010/0709/878.html,中外民商裁判网,2010年8月29日最后访问。
②参见《合同中未约定逾期付款责任时,合同逾期付款违约金的标准是什么?》,http://www.copycheck.com.cn/Compare?purl=http://www.pinlvshi.com/zpfz.asp?id=10,中国辩护律师网,2010年8月29日最后访问。
① http://baike.baidu.com/view/96050.htm?fr=alaO11,2010年8月28日最后访问。
② http://www.gzhsfy.org/showanli.php?id=3343,广州海事法院网,2010年6月25日最后访问。
③(2002)武经初字第116号民事判决书。http://whfy.chinacourt.org/public/detail.php?id=95,武汉中级人民法院网站,2010年6月26日最后访问。
①(2002)武经初字第116号民事判决书。http://whfy.chinacourt.org/public/detail.php?id=95,武汉中级人民法院网站,2010年6月26日最后访问。
②http：//www.shezfy.com/spyj/cpws_view.aspx?id=5994,上海市第二中级人民法院网站,2010年6月26日最后访问。
③http://www.shezfy.com/spyj/cpws_view.aspx?id=6010,上海市第二中级人民法院网站,2010年6月26日最后访问。
④(2006)沪二中民五(商)初字第28号民事判决书。http://www.sheafy.com/spyj/cpws_view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月26日最后访问。
(2006)沪二中民五(商)初字第28号民事判决书。http://www.shezfy.com/spyj/cpws view.aspx?id=6630,上海市第二中级人民法院网站,2010年6月26日最后访问。
②(2007)大民四初字第20号民事判决书。http://court.dl.gov.cn/info/2049 20274.vm,大连市中级人民法院网站,2010年6月26日最后访问。
③(2007)大民四初字第20号民事判决书。http://court.dl.gov.cn/info/2049 20274.vm,大连市中级人民法院网站,2010年6月26日最后访问。
④(2007)大民四初字第20号民事判决书。http://court.dl.gov.cn/info/2049 20274.vm,大连市中级人民法院网站,2010年6月26日最后访问。
①参见寇立耘：“国际仲裁中的利息”,载中国国际经济贸易仲裁委员会官方网站,http://cn.cietac.org/TheoryResearch/Theory2.asp,中国国际经济贸易仲裁委员(CIETAC)网站理论研究板块,2010年7月2日最后访问。
②例如英国1950年《仲裁法》规定法院和仲裁庭对利息问题(单利)拥有明确的自由裁量权,可以以他们认为适当的期限和利率对裁决作出日之前的利息进行裁决。1996年《仲裁法》则在此基础上加以扩张：1、可以裁决复利；2、除非当事人作出相反约定,可以裁决至实际付款日。德国法则规定利息问题属于强行性规则(mandatoryrules),法院和仲裁庭必须根据民法典和商法典中确定的规则对利息问题作出裁决。参见寇立耘：“国际仲裁中的利息”,http://cn.cietac.org/TheoryResearch/Theory2.asp,中国国际经济贸易仲裁委员(CIETAC)网站理论研究板块,2010年7月2日最后访问。
③参见《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第169-186页。
①《国际饲料买卖合同争议仲裁裁决书》,载《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第143页。
②参见《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版,第213-228页。
③《贸易法委员会关于公约判例法摘要汇编》(2008年修订)第78条,A/CN.9/SER.C/DIGEST/CISG/78。
1.[德]彼得·施莱希特里姆：《<联合国国际货物销售合同公约>评释》,李慧妮编译,北京大学出版社2006年版。
2.韩德培主编：《国际私法新论》,武汉大学出版社2003年版。
3.国际统一私法协会：《国际商事合同通则》,商务部条法司译,法律出版社2004年版。
4.理查德·波斯纳：《法官如何思考》,苏力译,北京大学出版社2009年版。
5.李双元、金彭年、张茂、欧福勇：《中国国际私法通论》,法律出版社2003年1月第2版。
6.李巍：《联合国国际货物销售合同公约评释》,法律出版社2009年10月第2版。
7.梁西、宋连斌：《法学教育方法论》,武汉大学出版社2009年版。
8.刘瑛：《<联合国国际货物销售合同公约>解释问题研究》,法律出版社2009年版。
9.[德]马丁·沃尔夫：《国际私法》(上、下)(第二版),李浩培、汤宗舜译,北京大学出版社2009年版。
10.[美]曼昆：《经济学原理》(下册),梁小民译,三联书店、北京大学出版社2001年12月第2版。
11.孙林主编：《写给法律人的经济词汇》,法律出版社2004年版。
12.《中国国际经济贸易仲裁裁决书选编》(2003—2006)[货物买卖及建筑工程、房地产纠纷](上),中国国际经济贸易仲裁委员会编,法律出版社2009年版。
13.左海聪主编：《国际商法》,法律出版社2008年版。
14.《瑞士债法典》,吴兆祥、石佳友、孙淑研译,法律出版社2002年版。
15.《意大利民法典》,费安玲等译,中国政法大学出版社2004年版。
16.德国《民法典》,陈卫佐译注,法律出版社2006年2月第2版。
17.《葡萄牙民法典》,唐晓晴等译,北京大学出版社2009年版。
18.《法国民法典》,罗结珍译,法律出版社2005年版。
1.戴小东：“国际私法中意思自治原则的新发展及其价值分析”,中国国际私法学会2010年年会暨涉外民事关系法律适用法研讨会论文集(上)。
2.刘朋：“论<联合国国际货物销售合同公约>第78条的统一适用——以利率的确定为视角”,《河北法学》2010年第3期。
3.罗洁：“国际贸易一般原则与CISG漏洞补缺”,《理论月刊》2008年第11期。
4.申婕：“CISG中损害赔偿范围的研究”,苏州大学2009届硕士学位论文。
5.王追林：“国际贸易索赔中的利息问题”,《国际贸易问题》1991年第1期。
6.曾丽凌：“论<国际货物销售合同公约>未决问题之法律适用”,《漳州师范学院学报》(哲学社会科学版)2009年第3期。
7.张湘兰、朱强：“《联合国国际货物买卖合同公约》下利率的确定”,《时代法学》2006年第4卷第1期。
1.《联合国国际货物销售合同公约》,Convention on Contracts for the International Sale of Goods。
2.《贸易法委员会关于公约判例法摘要汇编》(2008年修订)第78条,A/CN.9/SER. C/DIGEST/CISG/78。
二.英文参考文献
Ⅰ.Books
1. Honnold O.John,Uniform Law for International Sales under the 1980 United Nations Convention, Hague:Kluwer Law International,3rd ed.1999, pp.465-471.
2. Honnold O.John, Documentary History of the Uniform Law for International Sales, Deventer&Boston:Kluwer,,1989,p.1.
3. Ignaz Seidl-Hohenveldern, International Economic Law, the Hague-London-Boston: Kluwer Law International,3rd ed.,1999.
4.[英]埃万·卖肯骓克(Ewan McKendrick),契约法(CONTRACT LAW)第四版 (4th edition)(英文版),法律出版社2003年版
1. Behr Volker, the Sales Convention in Europe:From Problems in Drafting to Problems in Practice,17Journal of Law and Commerce263-299 (1998).
2. Corterier Andre, A New Approach to Solving the Problem of the Interest Rate Under Article 78 CISG, reproduced with permission of 5 International Trade and Business Law Annual 33-42(2000).
3. Darkey M.Joanne, A U.S. Court's Interpretation of Damage Provisions Under the U.N. Convention On Contracts for the International Sale of Goods:A Preliminary Step Towards an International Jurisprudence of CISG or a Missed Opportunity? 15 J. L. & Com. 139,149(1995).
4. Eiselen Sieg, Remarks on the Manner in which the UNIDROIT Principles of International Commercial Contracts May Be Used to Interpret or Supplement Article 78 of the CISG, available at http://cisgw3.law.pace.edu/cisg/principles/uni78.html,visited on January 25,2011.
5. Ferrari Franco, Uniform Interpretation of the 1980 Uniform Sales Law, Georgia Journal of International and Comparative Law, Vol.24,1994.
6. Garro M.Alejandro, The Gap-Filling Role of the UNIDROIT Principles in International Sales Law:Some Comments on the Interplay Between the Principles and the CISG 1149,1157(1995).
7. Gotanda Y.John, A Study of Interest (August 2007). Villanova University Legal Working Paper Series. Villanova University School of Law Working Paper Series. Working Paper 83. available at http://law.bepress.com/villanovalwps/papers/art83, visited on January 25,2011.
8. Gotanda Y.John, When Recessions Create Windfalls:The Problems of Using Domestic Law to Fix Interest Rates under Article 78 CISG, reproduced with permission of 13 Vindobona Journal of International Commercial Law & Arbitration 229-240(2009).
9. Hillman A.Robert, Applying the United Nations Convention on Contracts for the International Sale of Goods:The Elusive Goal of Uniformity,Cornell Review of the Convention on Contracts for the International Sale of Goods,26-27(1995).
10. Koneru Phanesh, The International Interpretation of the UN Convention on Contracts for the International Sale of Goods:An approach based on General Principles,6 Minn. J. Global Trade 105,127(1997).
11. Liu Chengwei, Recovery of Interest, Reproduced with the permission of the author. For pdf law journal text, go to the Nordic Journal of Commercial Law of the University of Turku, Finland, Issue 2003 # 1
12. Mazzotta G. Francesco, CISG Articles 78 and 84(1) and their PECL counterparts, available at http://cisgw3.law.pace.edu/cisg/text/peclcomp78.html#fmi, visited on January 25,2011.
13. Mazzotta G. Francesco, CISG Article 78:Endless disagreement among commentators much less among the courts, available at http://cisgw3.law.pace.edu/cisg/biblio/mazzotta78.html, visited on January 25,2011.
14. M. Hunter,& V. Triebel, Awarding Interest in International Arbitration:Some Observations Based on a Comparative Study of the Laws of England and Germany"(1989) 6 Journal of International Arbitration 7.
15. Orlandi, C.G., Procedural Law Issues and Law Conventions 5 Uniform Law Review 23(2000).
16. Thiele Christian LL.M., Interest on Damages and Rate of Interest Under Article 78 of the U.N. Convention on Contracts for the International Sale of Goods, Reproduced with permission of 2 Vindobona Journal of International Commercial Law and Arbitration 3-35(1998).
17. Twibell T.S., Implementation of the United Nations Convention on Contracts for the International Sale of Goods (CISG) under Shari'a Law:Will Article 78 of the CISG Be Enforced When the Forum Is an Islamic State? 9 International Legal Perspectives 25-92(1997).
18. Zoccolillo F. Alan, Determination of the Interest Rate under the 1980 United Nations Convention on Contracts for the International Sale of Goods:General Principles vs. National Law, Reproduced with permission of 1 Vindobona Journal of International Commercial Law and Arbitration 3-43(1997).
1、UNILEX是由意大利国家研究理事会和罗马国际统一私法学会共同发起的比较法和国际法研究中心项目从1992年开始建设的数据库,提供《公约》和《通则》成案的检索。网址是http://www.unilex.info,同时它也提供成案编纂的书面版本和光盘版本。
2、CLOUT是联合国国际贸易法委员会官方网站上提供的一个判例法系统,始于1988年,提供《公约》和《联合国国际商事仲裁示范法》的成案资料检索。网址是http://www.uncitral.org/urcicitral/zh/case_law.html。
3、佩斯大学的《公约》研究在世界范围内享有盛名,该大学所维护的《公约》研究网站也是《公约》研究者的乐园,提供《公约》自身包括其立法过程文件、秘书处评论的介绍,《公约》研究论著的目录和部分论著的全文浏览和下载等,当然也包括《公约》案例。
佩斯大学的《公约》案例数据库最大的特点是其研究性较强。它除了提供案例全文,还为每个案件配备摘要、评论以凸显其理论性和研究性。除原始语言版本的案件全文外,佩斯大学数据库还为一些案例提供英文翻译本,这是前两个《公约》数据库没有的。相对而言,佩斯大学网站上的《公约》案例数量也较多。不足之处在于,它没有UNILEX那么细的事项分类检索,也没有CLOUT语言上的多元化。网址是http://wwww.ci sg.law.pace.edu.
1.大连市中级人民法院网站,http://court.dl.gov.cn/。
2.上海市第二中级人民法院网站,http://www.shezfy.com/main.aspx.
3.武汉法院网,http://whfy.chinacourt.org/.
4.广州海事法院网,http://www.gzhsfy.org/.
5.中国涉外商事海事审判网,http://www.ccmt.org.cn/
6.中外民商裁判网,http://www.zwmscp.com7。
7.中国国际经济贸易仲裁委员会官方网站,http://www.cietac.org/